System and method for distributed, policy-based confidentiality management

Abstract

A system and method for distributed policy-based confidentiality management provides comprehensive management of information security and ethical walls. It streamlines processes for securing confidential information without creating productivity barriers, provides interfaces to support processes of each major audience in a professional service enterprise across multiple systems and allows creation of enterprise policy types for different scenarios and systems affected by the policies. It supports standard policy types and those for lateral hires, ITAR, data privacy, price sensitivity, trade secrets, and conflicts of interest and provides two-stage review to prevent incorrect policy application. A distributed access control system provides user interfaces for granting, denying, and requesting access in a distributed fashion. Reports sort information governance policies by user/group, client/engagement, or policy type. The system prevents both service desk and other professionals from violating risk management policies at all while providing a common user experience.

Description

CROSS-REFERENCE TO RELATED APPLICATIONS[0001]This application is a continuation-in-part of U.S. patent application Ser. No. 14 / 335,857, filed Jul. 18, 2014, which is incorporated herein in its entirety by this reference thereto. U.S. patent application Ser. No. 14 / 335,857 claims benefit of U.S. provisional patent application Ser. No. 61 / 856,691, filed on Jul. 20, 2013, which applications are incorporated herein in their entireties by this reference thereto.BACKGROUND[0002]Technical Field[0003]The invention generally relates to the field of computerized information governance. More particularly, the invention relates to a system and method for distributed policy-based confidentiality management.[0004]Background Information[0005]An aspect of business process management that is steadily growing in importance, particularly in professional service organizations such as law firms, is information governance. Data privacy and data security are in the news constantly. Hardly a day passes tha...

AI Technical Summary

Benefits of technology

[0016]A system and method for distributed policy-based confidentiality management provides comprehensive management of information security and ethical walls. It streamlines processes for securing confidential information without creating productivity barriers, provides interfaces to support processes of each major audience in a professional service enterprise across multiple systems and allows creation of enterprise policy types for different scenarios and systems affected by the policies. It supports standard policy types and those for lateral hires, ITAR, data privacy, price sensitivity, trade secrets, and conflicts of interest and provides two-stage review to prevent incorrect policy application. A distributed access control system provides user interfaces for granting, denying, and requesting access in a distributed fashion. Reports sort information governance policies by user / group, client / engagement, or policy type. The system prevents both service desk and other professionals from violating risk management policies at all while providing a common user experience.

Problems solved by technology

Hardly a day passes that one does not hear of some new security breach in which hundreds of thousands of credit card numbers or Social Security numbers have been misappropriated.

Compliance with these standards and initiatives imposes a formidable administrative burden on businesses and professional service organizations, and the consequences of failure to comply are often dire.

For example, HIPAA violations can incur significant civil and even criminal sanctions.

In fact, firms may even be subject to surprise audits from clients to verify compliance with agreed-on measures and practices.

Law firms also face the challenge of implementing and maintaining ethical walls, for example, in the case of a lateral hire which has triggered conflict-of-interest rules.

However, so much data is now stored electronically that ethical walls must now extend to most or all of a firm's systems.

Often, however, need-to-know policies are implemented in an ad hoc fashion and, thus, are of limited effectiveness.

Additionally, switching from an open-access model, in which all employees in an organization are given unlimited access to all of a firm's data, to a need-to-know model can be extremely disruptive to a firm's day-to-day activities, frustrating the professional staff and greatly limiting their effectiveness as a result of IT bottlenecks.

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